Dispositions
Dispositions in cases brought in the CFTC's Reparations program and in administrative enforcement cases brought by the CFTC Division of Enforcement. Dispositions may include initial decisions, orders, and other rulings. Please note that not all dispositions are final.
View Enforcement Actions
View Opinions and Adjudicatory Orders
| Date | Dispositions |
|---|---|
William Sauve v. R.J. O'Brien Associates, LLC
 CFTC Docket No. 11-R019 |
|
| Richard Hallberg v. R.J. O'Brien Associates, LLC
CFTC Docket No. 11-R015 |
|
| James Van Zee v. R.J. O'Brien Associates, LLC
CFTC Docket No. 11-R020 |
|
| In the Matter of: Raleigh Capital Management, Inc.
CFTC Docket No. SD 12-01 |
|
| David Fisher v. Farr Financial, Inc., Ironbeam, Inc., Ramon Vahdatinia d/b/a So…
CFTC Docket No. 11-R017 |
|
| Sherry R. Middleton and Mark A. Middleton v. James P. Cagnina, Jr., Anthony Gia…
CFTC Docket No. 11-R011 |
|
| Charles H. Pennington v. William Matthew Kenney and Knox Capital Management, LLC
CFTC Docket No. 11-R018 |
|
| Susan M. Elliott v. Jay De Bradley, Farr Investments, LLC, MF Global d/b/a Fox …
CFTC Docket No. 11-R004 |
|
| Syed Nasir S. Shamim v. Rogelio "Roger" Moraitis and Trade Station Securities, …
CFTC Docket No. 11-R014 |
|
| Syed Nasir S. Shamim v. Interactive Brokers, LLC.
CFTC Docket No. 11-R016 |